Complaint Prioritization and Referral Guidelines for Professional Boards and Bureaus

COMPLAINT PRIORITIZATION and REFERRAL GUIDELINES FOR PROFESSIONAL BOARDS/BUREAUS*

Guidance To Refer Complaints to the Division of Investigation (DOI)

CATEGORY 1 - URGENT - Immediate referral to DOI Complaints alleging imminent and/or ongoing public safety risk • Practicing under the influence of drugs or alcohol, or mental or physical impairment of the licensee resulting in great bodily injury/death or major financial harm over $10k* • Use of force incidents resulting in great bodily injury/death

• Unlicensed practice or practicing with a delinquent/revoked license resulting in
  great bodily injury/death or major financial harm over $10k* and/or requiring an in-person undercover operation • Aiding and abetting unlicensed practice resulting in great bodily injury/death or major financial harm over $10k* and/or requiring an in-person undercover operation • Project abandonment resulting in major financial loss over $10k* and/or great bodily injury/death to the client/public • Acts of serious consumer harm, gross negligence, or incompetence by a licensee resulting in great bodily injury/death (criminal) • Complaints with significant media coverage and/or sensitivities

• Examination subversion or board examination compromised (recommend
  consultation with DCA's Office of Professional Examination Services prior to DOI referral) • Obtaining licensure by selling/using fraudulent documents/transcripts

• Re-inspections after a refusal to comply with routine inspections that resulted in
  violent threats and/or great bodily injury to the inspector or another board/bureau employee • Other felony criminal violations, including but not limited to:

• Selling fraudulent documents/transcripts

• Major financial fraud/financial elder/insurance fraud abuse over $10k*

• Sexual misconduct with a client (non-consensual)
  CATEGORY 2 - HIGH - Discuss with DOI prior to assigning to the Board • Acts of serious consumer harm, gross negligence, or incompetence by a licensee resulting in great bodily injury/death or major financial loss under $10k** (non-criminal)

**Higher thresholds are allowed for the Bureau of Household Goods and Services and Bureau for Private Postsecondary Education.*

CATEGORY 3 - Complaints appropriate to be worked by the Board • Use of force incidents not resulting in great bodily injury/death

• General unprofessional conduct, negligence, incompetence resulting in
  minor/potential harm • General work quality complaints, offensive behavior/conduct/speech (non- criminal) • Unlicensed practice or practicing with a delinquent/revoked license with minor/potential consumer harm/injury/financial loss, not requiring an in-person undercover operation • Aiding and abetting unlicensed practice - non-criminal, minor/potential harm/injury/financial loss, not requiring an in-person undercover operation • Working outside the scope of the license (non-criminal, minor/potential consumer harm, no major financial loss) • Site inspections - solo and joint with board expert, no need for law enforcement standby/security • Examination Subversion - individual cheating, examination not compromised

• Failing to have required permits, insurance, or violating related laws/ordinances
  (e.g., worker's compensation violations, permit violations, business violations, zoning violations, public contract violations, labor code violations, etc.) • Civil lawsuits/malpractice - unless determined to be Category 1 or 2

• Project abandonment with no/minimal consumer harm (non-criminal,
  minor/potential consumer harm, no major financial loss, minor/potential patient harm) • Applicant misconduct not related to examination subversion or fraudulent documents • Unsanitary conditions requiring site visit

CATEGORY 4 - Complaints appropriate to be worked by the Board • Subsequent arrest notifications that do not require a suspension (Penal Code section 23 (PC23) action or interim suspension order (ISO)) and DOI assistance • Failure to release records, recordkeeping violations, contract violations

• False/misleading advertising - not unlicensed/not criminal
• Failure to display license number
• Continuing education violations
• Declaration and record collection
• Probation violations unless determined to be Category 1 or 2

• Non-jurisdictional issues
  Other Services Provided By DOI Upon Request • Law enforcement standby/security for board/bureau staff or member safety

• Assist with PC23/ISO, if unable to quickly take action at the board/bureau level

• Issuing and serving subpoenas when needed
  **Higher thresholds are allowed for the Bureau of Household Goods and Services and Bureau for Private Postsecondary Education.*